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Investment Adviser Firm Summary
TRANSGLOBAL ADVISORY, LLC ( CRD # 168709/SEC#:801-129096 )
TRANSGLOBAL ADVISORY, LLC, TRANSPACIFIC FINANCIAL INC.
View latest Form ADV filedPart 2 BrochuresPart 3 Relationship Summary

The adviser's REGISTRATION status is listed below.

REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved11/30/2023
CaliforniaTerminated1/21/2024
GeorgiaTerminated1/3/2024
IllinoisTerminated12/22/2023
LouisianaTerminated12/22/2023
MarylandTerminated12/26/2023
MassachusettsTerminated12/22/2023
MichiganTerminated12/29/2023
NevadaTerminated12/26/2023
New JerseyTerminated1/3/2024
New YorkTerminated12/22/2023
North CarolinaTerminated12/22/2023
OhioTerminated11/19/2019
PennsylvaniaTerminated12/22/2023
TexasTerminated12/22/2023
WashingtonTerminated1/18/2024
WyomingTerminated12/22/2023
NOTICE FILINGS

Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.

JURISDICTIONEFFECTIVE DATE
California11/30/2023
Georgia11/30/2023
Hawaii11/30/2023
Illinois11/30/2023
Louisiana11/30/2023
Maryland11/30/2023
Massachusetts11/30/2023
Michigan11/30/2023
Nevada11/30/2023
New Jersey11/30/2023
New York11/30/2023
North Carolina11/30/2023
Pennsylvania11/30/2023
Texas11/30/2023
Washington11/30/2023
Wyoming11/30/2023
EXEMPT REPORTING ADVISERS

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

Not Currently an Exempt Reporting Adviser
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.